Financial Advisor Questionnaire

1. What is your position/title?

___ Stock Broker ___ Financial Advisor, Financial Consultant, Financial Planner ___ Wealth Manager ___ Registered Representative ___ Registered Investment Advisor

2. What is your educational background? Please select the highest level attained.

___ High School Degree ___ College Degree ___ Graduate Degree ___ Doctoral Degree

Please enter the schools you attended or attach ADV Part 2B.

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3. What certifications/designations do you hold?

___ Chartered Financial Analyst (CFA) ___ Certified Public Accountant (CPA) ___ Certified Financial Planner (CFP) ___ Chartered Financial Consultant (ChFC) ___ None of the Above

4. How many years of experience do you have in the investment industry? ____

Please include a link to your ADV brochure in the box below.

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5. What is the Standard of Care you are bound by?

___ Fiduciary Standard ___ Suitability Standard

6. Have you ever been cited by a professional or regulatory governing body for disciplinary reasons?

___ Yes ___ No

Please include your CRD# or Full Name and Firm Name to enter at www.brokercheck.com.

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7. How are you compensated?

___ Hourly ___ Commissions ___ Advisory Fee ___ Flat Fee

8. Do you have a minimum fee and/or account size for investment management?

___ Yes ___ No

Please summarize below.

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9. Do you receive compensation from investments you may recommend to me (12b-1 fees, loads, etc.)?

___ Yes ___ No

10. Do you receive referral fees from attorneys, accountants, insurance professionals, mortgage brokers, or other individuals?

___ Yes ___ No

Please summarize below.

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11. Please provide documentation on your investment philosophy and investment process.

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12. Generally speaking, what investment products do you usually recommend for a portfolio? Check all that apply.

___ Stocks ___ Bonds ___ Mutual Funds ___ ETF’s ___ Closed-End Funds ___ Annuities ___ Separate Accounts/CIT’s ___ REIT’s ___ Commodities

Please summarize other investments not noted below.

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13. Do you utilize any derivatives in client portfolios (futures, options, forward contracts, etc.)?

___ Yes ___ No

14. Do you conduct your own investment research (individual securities, managed products, etc.)? Please select all that apply.

___ Individual Securities ___ Managed Products ___ Other ___ None

Please include a link to an example report for all selected.

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15. Do you utilize any third-party research for investment recommendations?

___ Yes ___ No

If yes, please provide a list of the third-party research providers that you utilize.

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16. Do you make tactical trades in client portfolios (i.e. shorter-term trades that vary from the client’s long-term benchmark) as a part of your investment strategy?

___ Yes ___ No

Describe your last tactical trade and the reason for it.

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17. How often will you communicate with me about my portfolio?

___ Every trade ___ Monthly ___ Quarterly ___ Semi-Annually ___ Annually

18. Where are my assets held?

Please summarize below.

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19. Do you own the same investments you are recommending for my portfolio?

___ Yes ___ No

If no, please explain briefly.

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20. Will you provide me with an investment policy statement (IPS)?

___ Yes ___ No